Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Financial Fraud Is Accelerating: CFP Board Survey
By Melanie Waddell"Our research suggests many people may be more vulnerable than they realize," said CFP Board CEO K. Dane Snowden.
June 16, 2026
FINRA Fines Advisor Over Undisclosed Tax Consultancy Referral FeesShuai Wang failed to timely and accurately inform Cambridge Investment Research about the fees, an order states.
June 16, 2026
How State Tax Residency Is Becoming a Balance-Sheet IssueWhere wealthy families live affects where income is sourced, where a business is sold and where trusts are administered.
June 16, 2026
Watch Out for These ETF Tax SurprisesNot all ETFs are as tax-efficient as those that follow broad stock market indexes.
June 15, 2026
Which Comments on New Rules Get Read? Which Get Dropped? — SEC RoundupTwo professors discuss their paper revealing whose voices are codified into law and whose are quietly discarded.
June 15, 2026
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Advisors Don't Mince Words on DOL's Plan for Alts in 401(k)sThinkAdvisor polled advisors on their views about Labor's proposal. Here's what they said.
June 15, 2026
New York Tax Preparer Sentenced in $50M Ponzi SchemeMiles Burton Marshall had pleaded guilty to grand larceny, securities fraud and scheme to defraud.
June 15, 2026
'Social Security Is Not Going Away,' Industry Veteran Tells AdvisorsA recent webinar addressed financial professionals' concerns over the program trustees' annual report.